Securities and Exchange Commission Historical Society
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This Week in SEC History

October 4, 1941 - SEC decides Multiple Trading case. Today in 1941, the SEC decided the Multiple Trading Case against the NYSE. The proceeding barred NYSE from preventing members from trading listed issues on regional exchanges. The SEC decision being a narrow one, NYSE continued to thwart competition.
Upcoming Program
Angled view of the side of a sky scraper.
Perspective view of a skyscraper.

Wednesday, October 11 // 5:00 pm (ET)

From OCIE to the Division of Examinations: A Leadership Perspective on the Past and Future of the SEC Examinations Program

The SEC’s Office of Compliance Inspections and Examinations (OCIE) was formed in 1995, consolidating all of the Commission’s examination and inspection activities in a single unit. On December 17, 2020, OCIE was renamed the Division of Examinations. This special program focuses on the recent evolution of OCIE to the Division of Examinations. (CLE credit in NJ, NY, and PA will be offered for in-person attendance.)

Full Program Details

This program is made possible with a grant from Morgan, Lewis and Bockius, LLP.

Save the Date
Grid of 8 portraits.
(Top) Randall J. Fons; Merri Jo Gillette; David Glockner; Daniel R. Gregus (Bottom) Mary E. Keefe; Joel R. Levin; Anita M. Nagler; Lori A. Richards.

Thursday, October 13 // 3:00 pm (ET)

The SEC Chicago Regional Office – A Distinctive History

As part of a new gallery soon to open on the history of the U.S. Securities and Exchange Commission’s Regional Offices, the SEC Historical Society and Northwestern University Pritzker School of Law invite you to attend a program on the evolution of the Chicago Regional Office featuring its current and former leaders. (CLE credit in Illinois will be offered for in-person attendance.)

Full Program Details

This program is made possible through the generous support of Peter K.M. Chan, Charles River Associates, Northwestern University Pritzker School of Law and Lori A. Richards.

Program
A male and female law student sitting at a desk covered with pamphlets.
Investor Advocacy Clinic - Georgia State University School of Law

Wednesday, September 14

Securities Arbitration Clinics: Commemorating 25 Years of Law Students Aiding Investors

View Archived Program

Program

Thursday, July 21

The Sarbanes-Oxley Act at 20: A Corporate Governance Legacy

View Archived Program

Now Hiring

Society Seeking Executive Director

Purple wooden door with showing a 'We're Hiring' sign.

Securities and Exchange Commission Historical Society is seeking applicants for its Executive Director position who have knowledge and a passion for the mission of the U.S. Securities and Exchange Commission. The role leads the Society’s core operations: (1) planning and implementing Museum projects, (2) fundraising, donor development, and building awareness, (3) overseeing financial and administrative operations, and (4) supporting the Boards of Trustees and Advisers.

Interested parties, please submit your name and contact information.

Video

What is the SEC Historical Society?

New Oral Histories
Photos of Mary Jo Gillette and Carmen J. Lawrence arranged side by side.
Merri Jo Gillette, Carmen J. Lawrence, and Lori A. Richards

Museum Adds to its Oral Histories Collection

  • Merri Jo Gillette

    This oral history was made possible with the generous support of Baker McKenzie and Charles River Associates.

  • Carmen J. Lawrence

    This oral history was made possible with the generous support of King & Spalding.

  • Lori A. Richards

    This oral history was made possible with the generous support of Andrew J.Bowden, Peter B. Driscoll, Carlo di Florio, and Marc Wyatt.
See all Oral Histories >>

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.